John Demarest Diefenbach

CRD 2006364 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Lake Forest, IL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 63Series 65SIESeries 7
Registered states (24): Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Iowa · Maryland · Massachusetts · Montana · Nevada · New Mexico · New York · North Carolina · Ohio · South Carolina · Tennessee · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 36
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Lake Forest, IL · IA capacity

Mar 31, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Lake Forest, IL · BC capacity

start not retrieved → present
William Blair
BD capacity

Aug 24, 2009 → Apr 21, 2016
William Blair & Company L.L.C.
IA capacity

Aug 24, 2009 → Apr 21, 2016
Northstar Distributors, Inc.
BD capacity

Mar 13, 1996 → Jun 14, 1999
Quest For Value Distributors
BD capacity

Sep 15, 1993 → Mar 28, 1994
Nsr Distributors, Inc.
BD capacity

Jun 1, 1993 → Sep 22, 1993
Chatfield Dean & Co., Inc.
BD capacity

Sep 19, 1991 → Oct 17, 1991
Seligman Securities, Inc.
BD capacity

May 21, 1991 → Sep 10, 1991
Moran & Associates, Inc. Securities Brokerage
BD capacity

Sep 24, 1990 → May 13, 1991

Source & corrections

Where this page comes from

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